Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Norman Arnold Robbins | 731352 | 7 | 10/02/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 09/29/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ted Arthur Boutis | 2951760 | 4 | 09/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Cameron Monckton | 2252224 | 4 | 09/09/2020 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Samuel Ray Head | 2456312 | 7 | 09/09/2020 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Gary David Ginsberg | 1175258 | 5 | 09/03/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Anton Fons | 2738064 | 1 | 08/14/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Lawrence Jan Rosen | 3227582 | 1 | 08/11/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Greggory James Keele | 2889511 | 2 | 07/24/2020 | Customer Dispute | Settled | $147,225.00 | $0.00 | See FINRA Report |
| Kevin Douglas Houser | 2513167 | 5 | 07/21/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |